Cardea Group · 1 day ago
Senior Compliance Associate
Miami-FTL Area
Full-time
Hybrid
Senior Level
$150K/yr - $200K/yr
5+ years expCardea Group is a hedge fund seeking a Senior Compliance Associate to join their dynamic and collaborative team. This newly created role will involve developing compliance policies, conducting training, and managing regulatory inquiries, providing broad exposure to all areas of the compliance program.
Asset ManagementConstructionFinancial ServicesProfessional Services
Responsibilities
Develop, implement, and maintain compliance policies and procedures, and recommend opportunities for improvement
Design and conduct training on relevant topics
Keep apprised of developments in the regulatory environment, including industry best practices and initiatives, to implement updates to the compliance program
Assist in managing regulator inquiries, including conducting relevant research and formulating draft responses
Oversee the preparation and coordination of the firm’s annual compliance review and any regulatory examinations
Analyze information gathered through the firm’s surveillance systems to proactively identify potential issues
Assess internal workflows and reports, identifying and addressing opportunities to improve and/or automate practices
Monitor firm activity to identify regulatory filing requirements and prepare such filings
Provide guidance on compliance issues to employees as appropriate and collaborate with third-party providers/outside counsel
Qualification
Required
Bachelor's degree required
5 to 7 years of experience in the financial services space
Demonstrated knowledge of the Investment Advisors Act
Ability to work in-person in the firm's Miami office 3 days per week
High level of professional discretion, capable of maintaining confidentiality in a role with visibility to privileged information
Energetic, detail-oriented, and highly organized, with a history of proactively pursuing additional responsibility
Preferred
JD preferred
Strong preference for candidates with experience in roles with hedge funds and/or regulatory bodies
Company
Cardea Group
Cardea Group is an Asset Management company.
2-10 employees
Funding
Current Stage
Early StageRecent News
2022-07-30
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